An Employee s Guide to CCAS

Transcription

1 An Employee s Guide to CCAS Understanding the Contribution-Based Compensation and Appraisal System of the AcqDemo DoD Civilian Acquisition Workforce Personnel Demonstration Project

2 5 Supervisor s Annual Appraisal Organization Mission Employee Self-Assessment Guidance from Personnel Policy Board and Pay Pool Manager Customer Input PAY POOL PANEL PROCESS OCS Pay Adjustment/Award CONTRIBUTION PLANNING 1 6 COMMUNICATING CCAS RESULTS IDP Contribution Expectations Supervisor s Annual Appraisal CIP (if required) OCS Pay Adjustment/Award Data on Organization Results Supervisor s Annual Appraisal Preliminary Factor Ratings SUPERVISOR S ANNUAL APPRAISAL 4 Organization Expected Contribution Organization Mission Self-Assessment Supervisor Input Customer Input Contribution to Mission 3 Training Organization Mission Key Players Position Information Expected Contribution Expected OCS & Range GETTING STARTED EMPLOYEE SELF- ASSESSMENT Organization Mission Contributions Supervisor Feedback Revised Contribution Plan Revised IDP Required Follow-up CIP (if required) Organization Mission Contributions Strengths/Weaknesses Recommended Changes to Contribution Plan Recommended Changes to IDP MID-POINT REVIEW 2

3 Contents How To Use This Guide 2 Getting Started 5 1 Contribution Planning 9 2 Mid-Point Review 11 3 Employee Self-Assessment 13 4 Supervisor's Annual Appraisal 17 5 The Pay Pool Panel Process 21 6 Communicating CCAS Results 25 7 CAS2Net 29 Glossary 30 Factors 33 1

4 How to Use This Guide Welcome to the DoD Civilian Acquisition Workforce Personnel Demonstration Project the AcqDemo. The AcqDemo was implemented in January 1999 to experiment with new and different personnel management concepts to determine whether such changes in personnel policy and procedures would result in improved Federal personnel management. The AcqDemo is a flexible and responsive personnel system designed to enhance the DoD s ability to attract, motivate, and retain a high quality Acquisition, Technology, and Logistics (AT&L) workforce. This employee guide was developed to help employees entering the program to succeed in the AcqDemo. It describes the steps you should take to ensure that the program works for you. This guide is not designed to cover every detail of the program. Visit the AcqDemo website at to check out a wealth of additional resources such as Federal Register Notices and other policy documents, Operating Procedures, training opportunities, and contacts for additional information about the AcqDemo. The employee guide is structured around the annual cycle of the AcqDemo s performance management system the Contribution- Based Compensation and Appraisal System, known as CCAS. CCAS is designed to measure and reward an employee s contribution to the mission and goals of the organization. It will be the central focus of your AcqDemo experience. The guide focuses on the key events in the annual CCAS cycle and addresses what actions are needed to 2 An Employee s Guide to CCAS

5 prepare for each event, as well as what you should expect to take away from each event. The CCAS appraisal period begins on October 1 and ends on September 30 of the following year. The CCAS cycle includes this appraisal period plus the three months immediately following the appraisal period for the pay pool panel review process. Refer to the chart inside the front cover of this publication for a summary of the key events in the CCAS cycle that AcqDemo will follow. 3

6 4 An Employee s Guide to CCAS

7 Training Organization Mission Key Players Position Information Expected Contribution Expected OCS & Range GETTING STARTED Getting Started Training The key to the success of the AcqDemo is the training provided for all involved. The AcqDemo Project Office (PO) is developing a full course curriculum to address all aspects of the AcqDemo program. Position Information When transitioning into the AcqDemo, you will want to understand how your position of record will be defined. First, depending on your occupational series, your position will be grouped into one of three separate and distinct career paths: NH Business Management and Technical Management Professional NJ Technical Management Support NK Administrative Support A crosswalk between occupational series and AcqDemo career paths can be found in the Federal Register Notice (January 8, 1999). Next, you will be assigned to one of the broadband levels in your career path, which replace the General Schedule (GS) grades. The GS grades were used in setting the upper and lower dollar limits of the broadband levels. The AcqDemo broadband level descriptors will be 5

8 applied to the duties and responsibilities of your position and the qualifications required to perform those duties and responsibilities. This will result in a broadband level determination. The AcqDemo s career paths and broadband levels. Broadband NH-Business and Technical Mgmt. Professional NJ-Technical Mgmt. Support NK- Administrative Support I GS 1-4 GS 1-4 GS 1-4 II GS 5-11 GS 5-8 GS 5-7 III GS GS 9-11 GS 8-10 IV GS GS Upon transition into the AcqDemo, your position description (PD) will be replaced by a Position Requirements Document (PRD). The PRD combines position information, staffing requirements, and factors into a single document. It will include a description of jobspecific information you are already familiar with (position title and occupational series), in addition to information specific to the AcqDemo (career path, broadband level, factors and descriptors). The broadband factors and descriptors are used to classify positions at the appropriate broadband level as well as to measure an employee s contribution to the mission of the organization. Taken together, these factors and descriptors capture the critical content of jobs in each career path. The six factors are: 1. Problem Solving 2. Teamwork/Cooperation 3. Customer Relations 4. Leadership/Supervision 5. Communications, and 6. Resource Management. Each factor contains descriptors and discriminators for each respective level within the relevant career path. Complete sets of factors, descriptors and discriminators for each career path are included at the end of this guide. 6 An Employee s Guide to CCAS

9 Organization Information Once you are assigned to a position, you will want to know how your position fits into the organization. First, since under the AcqDemo you will be recognized for your contribution to the mission, it is essential that you know and understand the organization's mission. You will want to ensure that your goals and objectives are linked to the organization's mission. There should be no doubt about the relationship between your position, specified duties, and the organizational mission. Under the AcqDemo, you will be grouped into a pay pool. A pay pool is a group of employees who will be evaluated together under the AcqDemo s performance management system, CCAS. It is usually based on the organizational structure and typically includes employees of many functional areas (such as contracting personnel, engineers, and budget analysts). For example, all employees in a division or a directorate would probably be in the same pay pool. A pay pool should consist of between 35 and 300 employees. The pay pool manager is the individual within the organization who is responsible for managing the CCAS process. As such, the pay pool manager has annual pay adjustment authority. Determinations made by the pay pool manager may be subject to higher management review. Pay pool managers are determined by the local installation commander or equivalent. The pay pool panel, which includes the pay pool manager and rating officials who normally report directly to the pay pool manager, determines employees final Overall Contribution Score (OCS), pay adjustments, and contribution awards. The Personnel Policy Board is a group of senior level managers representing each organizational unit. The Personnel Policy Board is responsible for overseeing the civilian pay budget, for determining the organization s pay pool structure, for providing guidance to pay pool managers, and for overseeing the overall operation of the CCAS process. 7

10 CAS2Net You will use CAS2Net to document contribution planning, and any necessary assessment and/or feedback between you and your supervisor. CAS2Net is short for the Contribution-Based Compensation and Appraisal System Software for the Internet. It is a DoD-sponsored web-based software application which is maintained by the DoD AcqDemo PO. A guide on CAS2Net operations is available on the AcqDemo website which has the details on how to access CAS2Net and navigate through the modules. 8 An Employee s Guide to CCAS

11 CONTRIBUTION PLANNING 1 IDP Contribution Expectations Organization Expected Contribution 1 Contribution Planning The AcqDemo s performance management system the Contribution-Based Compensation and Appraisal System, or CCAS is designed to make an employee s compensation consistent with his/her level of contribution to the mission of the organization. You and your supervisor will plan how you will contribute to the mission during the appraisal year at the beginning of the CCAS cycle. Contribution planning as well as any needed adjustments are documented in CAS2Net. The contribution planning meeting with your supervisor at the beginning of the appraisal cycle should include the following items: Career path & broadband level Factors Expected Overall Contribution Score (EOCS) and range Organizational mission Expected contribution and expected results Career development (Individual Development Plan, or IDP) Be sure to use this exchange with your supervisor for the mentoring opportunity it presents. Discuss areas where you d like to grow or expand your responsibilities, and solicit your supervisor s feedback on ways to accomplish your goals. As you consider how you will contribute, you should also discuss the intended results. Is there a specific target you are trying to reach? Try 9

12 to identify milestones or other measurable aspects of success. Don t hesitate to ask questions about anything you don t understand. This is your opportunity to create a clear plan for the coming year. Since all employees are rated on all six factors, it is advisable to consider how your plan relates to contributions for each factor. Plans should include goals or objectives that are: Measurable Concise Detail specific information on how the activity will benefit the organization In other words, the plan as a whole should pass the so what test, should be succinct, and should specifically detail the expected results. Example First Draft: Conduct an analysis of contaminated water samples for the Army Corps of Engineers. - This does not pass the so what test. It states a task, but not the expected outcome or why it is beneficial for the organization. 2ND Try: Conduct a monthly analysis of contaminated water samples for the Army Corps of Engineers in order to provide time-critical environmental contamination information. - This provides both the benefit for the organization and details on when it will be accomplished. At the conclusion of the contribution planning step, you should have a clear understanding of what you need to do to effectively contribute to your organizational mission. Your supervisor will discuss how your EOCS and range was determined based on your base pay. You should also understand how the factors, descriptors, and discriminators will be used to measure your contributions and what requirements for education, training, and experience are necessary to enhance your ability to contribute (i.e., elements of your IDP). Frequent communication with your supervisor is encouraged throughout the CCAS cycle to discuss how your work is progressing and where adjustments need to be made. 10 An Employee s Guide to CCAS

13 Organization Mission Contributions Strengths/Weaknesses Recommended Changes to Contribution Plan Recommended Changes to IDP MID-POINT REVIEW 2 2 Supervisor Feedback Revised Contribution Plan Revised IDP Required Follow-up CIP (if required) Mid-Point Review Frequent formal and informal feedback during the appraisal cycle is a cornerstone of how the AcqDemo promotes increased communication between supervisors and employees. Without feedback, you have no checkpoints to gauge if you re on the right path. At best, you may accidentally reach your goal. At worst, you ll wander aimlessly, never reaching your destination. People need to know how they re doing, what s working, and what s not. At the mid-point of the CCAS cycle, you will have a mid-point review with your supervisor. This review provides you with important feedback regarding your progress. To start the review process, your supervisor will ask you to complete a Mid-Point Self-Assessment in CAS2Net. Your supervisor will then use their CAS2Net module to write a narrative detailing your progress to date. Next is a discussion between you and your supervisor. A few things to consider as you prepare for the meeting with your supervisor: Your supervisor should prepare an agenda in advance to ensure major issues are not overlooked. You may wish to provide your supervisor with a list of concerns prior to your meeting so that you are both prepared to discuss your contributions and have any 11

14 relevant documentation to support your activities on hand. Write out your questions so they are not overlooked during the course of the meeting. During the mid-point review you and your supervisor will measure the progress you ve made toward the expectations set at the beginning of the CCAS cycle, discuss your strengths and weaknesses in areas of contribution to the organization mission, and make adjustments as necessary. Specific work assignments may change based on mission requirements. Your supervisor will document the discussion in CAS2Net and his/her related narratives should focus on agreed-upon milestones and follow-up activities. You should get feedback on each one of the factors. Your supervisor should talk to you about opportunities for improvements, such as training options and adjustments to your Individual Development Plan (IDP) if you ve identified gaps in skills. If you learn that your contributions are not meeting expectations, you need to find out: - What improvement is required? - How will improvement be recognized? - What assistance is required? - Are there consequences for not improving? Your supervisor should identify the deficiency and lead the discussion towards ways you can improve your contribution. If it is determined that you are not effectively contributing to the mission, you may need a Contribution Improvement Plan, or CIP. The CIP is a formal process to correct deficiencies by identifying specific areas where your contribution is inadequate, emphasizing standards for adequate contribution, and outlining actions required of you. It will also identify resources available to assist you. The CIP can become the starting point to help you get back on track. For more details on the CIP, see Chapter 6: Communicating CCAS Results. There should be no doubt in your mind where you stand after feedback sessions with your supervisor, and there should be no surprises when it comes time to review your CCAS results at the end of the CCAS cycle. Mid-point feedback and any additional formal feedback you receive during the appraisal cycle will be documented in CAS2Net. 12 An Employee s Guide to CCAS

15 Contribution to Mission 3 EMPLOYEE SELF- ASSESSMENT Organization Mission Contributions 3 Employee Self-Assessment At the end of the appraisal period, your supervisor will ask you to complete a self-assessment of your contributions to the mission of the organization. Your supervisor should provide guidance on applicable local policies for submitting your self-assessment, such as writing style (bullets or narratives), amount of detail required, and a due date. You should consider setting a self-imposed completion schedule that complements your supervisor s directives. Build plenty of time into your schedule to review your final product. You may want to have your supervisor review your assessment prior to the due date. Time management is critical for completing the writing tasks related to your assessment. As you prepare your self-assessment, you will need to have a copy of your organization mission statement and a copy of your Position Requirements Document (PRD), which contains the six factors and level descriptors for your broadband level and career path that will be used to measure your contribution. Your supervisor and the pay pool panel will rate your level of contribution to the mission for each of the six factors. Each factor is considered critical to the success of your organization s mission. A review of the factor descriptors and discriminators in the PRD will give you an idea of the types of contributions considered typical for an employee at the top of your broadband level. You can review factor descriptors for all career paths and broadband levels in the Federal Register Notice (January 8, 1999) and at the end of this guide. 13

16 To write an effective assessment, you need to ask yourself, So what? after each input. Identify the impact your contribution had on achieving an organizational goal. Concentrate on substance and content as opposed to length. Focusing on the link between your contribution and the benefit to the mission will serve you better in pay pool reviews than lengthy descriptions of your efforts. The annual appraisal is not a laundry list of skills you possess; nor is it an assessment of potential. Rather, it is a set of statements that reflect what you did and how those contributions helped further the mission of the organization. When supervisors are assessing employees under CCAS, they think not only WHAT (the activity) and HOW (the level of performance) but also WHY (the benefit that helps meet the mission). So you want to be specific when writing your self-assessment. Do not leave it to others to presume contribution. Example First Draft: I published three technical journal articles during this appraisal period. - This implies a contribution but does not state one. What impact did the publishing of those articles have? Did they capture the objectives of the team or organization? Even if the activity accurately implies contribution, a lack of amplification and detail can make the statement ineffective. 2ND Try: This year I published three technical journal articles on <technical subject> which resulted in < a desired advancement in the technology> in direct support of our mission to <specify goal> by <specific impact>. - Remember, always think in terms of cause and effect, or So What? when writing contribution statements: The employee did A that resulted in B which is related to the mission An Employee s Guide to CCAS

17 It is important to remember that a singular work activity may result in contributions that apply to several factors. Effective Self-Assessment Examples Developed a computer program to track material storage and delivery of weapon system parts from the Supply Department to the Operating Forces. This tracking system cut reorder costs by 20% and improved delivery time on average by 20 days. (Problem Solving) Coordinated with a number of organization elements and contractors to resolve a classified problem that resulted in the enhancement of operational security for all parties involved. This solution was adopted DoD-wide. (Teamwork/Cooperation) As the Help Desk Assistant, assisted over 300 Operating Forces customers monthly by providing accurate and timely responses to all questions and requests for assistance. This has resulted in improved relations between the help desk and the Operating Forces, favorable commendations to the Command, and improved communications between our projects and the Operating Forces. (Customer Relations) Volunteered to take the lead in teaching six Microsoft Office 2000 classes and various administrative correspondence courses to other Office Automation Assistants and division personnel. This saved approximately $15K in TAD and vendor training costs, which was then allocated to other priority projects. (Leadership/Supervision) Established contact with matrix activities, HQ, and other services and agencies to provide/maintain accurate information on the <XYZ> program. This resulted in improved interoperability and assured uniform understanding of the mission. (Communication) Provided improved budget procedures and guidance. Oversaw year-end closeout with all accounts meeting or exceeding HQ execution goals for the FY. The improved procedures saved $72K in funding due to timely reallocation of funding and resolution of errors. (Resource Management) Your supervisor will ask you to describe your contributions in the Annual Appraisal Self-Assessment module in CAS2Net. 15

18 16 An Employee s Guide to CCAS

19 Supervisor s Annual Appraisal Preliminary Factor Ratings Organization Expected Contribution SUPERVISOR S ANNUAL APPRAISAL 4 Organization Mission Self-Assessment Supervisor Input Customer Input 4 Supervisor s Annual Appraisal At the end of the appraisal period, your supervisor will assess the level of your contribution for each factor, and determine your preliminary factor scores. In preparing your appraisal, your supervisor may consider inputs from a variety of sources, to best capture the impact of your contributions on the organization's mission. During this time, the initial source that many supervisors consider is their own observations and knowledge of your contributions. If you and your supervisor jointly planned how you would contribute to the mission at the beginning of the appraisal period and monitored your progress throughout, then your supervisor should have an excellent frame of reference for the assessment. However, as previously mentioned, never count on the supervisor s knowledge and observations alone to best capture your contributions. Even the most effective supervisor could use a reminder of your contributions throughout the appraisal period. Remember, YOU are the best source of inputs that your supervisor should consider in preparing YOUR assessment. Only you are the expert at what you do, so be sure to capture that information in CAS2Net for your supervisor s consideration. 17

20 In addition to your input, and your supervisor s personal knowledge of your contributions, there are other various sources of input that may be considered by your supervisor. These sources are generally referred to as customers, based upon their having been a recipient of some service or product provided by you during the cycle. Customers may include other supervisors and teams that you have worked with on projects, counterparts in a related organization, or personnel at the end of a product chain that you support. Using these inputs, your supervisor will assess your contribution to the mission. Each factor will receive two types of scores, a categorical score and a numerical score. The following chart shows the broadband levels and the categorical scores and their associated numerical score ranges that are available based on an employee s career path. With the exception of the Very High categorical scores and its associated numerical scores, the entire range of categories and numeric scores are available for an employee in the listed career path no matter their assigned broadband level. The Very High factor score may only be assigned to an employee at the highest broadband level of their career path. It is important to note that the categorical designations are not adjectival to the quality of the contribution. Instead, they group the point ranges allowed for the category. For example, an NH-III employee who has a salary at the beginning of the broadband level and receives a factor score of 3 Low would be contributing at the appropriate level. An NH-III employee who has a salary at the top of the broadband may have cause for concern if they receive a 3 Low factor score as higher pay levels have higher contribution expectations. The process for scoring a factor begins by assessing the appropriate broadband level. From there a preliminary category score is assigned followed by the selection of a preliminary numeric score within the range provided for in the category to further distinguish an employee s contributions to the organization mission. 18 An Employee s Guide to CCAS

21 Levels IV III II I Categorical NH Point Range NJ Point Range NK Point Range Very High High Medium Low High Medium Low High Medium High Medium Medium Low Low High Medium Low Supervisors normally prepare the Annual Appraisal by mid-october so that it is ready for review by the pay pool panel by mid/end- October. Check for local policy on submission dates. The pay pool panel uses the employee's Annual Appraisal Self-Assessment and the Supervisor s Annual Appraisal as the primary sources of information about the employee s contribution. The Supervisor s Annual Appraisal is also used in the feedback session held between you and your supervisor at the end of the CCAS cycle. Because of the qualitative information that it gives on your contributions within each factor area, this form is the best source of the details that led to your Overall Contribution Score (OCS). 19

22 20 An Employee s Guide to CCAS

23 Supervisor s Annual Appraisal Organization Mission Employee Self-Assessment Guidance from Personnel Policy Board and Pay Pool Manager Customer Input 5 PAY POOL PANEL PROCESS OCS Pay Adjustment/Award 5 The Pay Pool Panel Process The AcqDemo pay pool panel process is designed to validate the evaluation of contribution against the six factors among a group of peer managers from across the organization. The result: fairness and standard application of the factor descriptors. Let s explore the actions that are taken to prepare for a pay pool review and what happens during a pay pool panel meeting. Actions Taken Before the Pay Pool Panel Process At the onset of each appraisal period, Personnel Policy Boards convene to establish the pay pool structure for the organization, validate pay pool business rules, and administer funds to pay pool managers. Actions Taken by the Pay Pool Panel The pay pool panel is normally composed of the pay pool manager and those who report directly to him/her. Their purpose is to share a common view of the organization mission, goals, and objectives in reviewing the assessments of subordinate supervisors and bring a common perspective to how employees are evaluated and, therefore, compensated. 21

24 Employees are assessed based on the same six factors addressed in the Position Requirements Document (PRD) within a high, medium, or low range of categorical scores. The factor descriptors are written to reflect the high end of contribution for each broadband level. That then provides perspective to a rating supervisor. If the individual is contributing solidly against all of the major points in the descriptor provided, then a higher category of rating would be appropriate than for someone who is only contributing against some of the descriptor requirements. A numerical score is determined for each factor, and the total is divided by six to produce an Overall Contribution Score, or OCS. The results are then reviewed again by the pay pool panel to determine that employees who have received the same category and point scores have contributed in a similar manner. If there are concerns about how employees are grouped together, further discussion and/or OCS adjustment may be required. The pay pool panel conducts a final review of the OCS and the recommended compensation adjustments for the pay pool members. The pay pool panel has the authority to make OCS adjustments, after discussion with the supervisor/initial rating official, to ensure equity and consistency in the ranking of all employees. Final approval of the OCS rests with the pay pool manager. Setting Compensation Based on the final score set by the pay pool panel, a relationship is established by the CCAS software that compares the difference between the pay level at which you have contributed during the appraisal period and the pay level at which you are currently being paid. This delta in pay is calculated by the CCAS software for all employees of the pay pool. The total delta is then compared with the funds available in the pay pool and a standard payout percentage factor is established for application to all eligible employees. The amount of money available within a pay pool includes the money that was used for within-grade increases, quality step increases, performance-based awards, and certain promotions, under the GS (Title 5) system. (Cash award funds are allocated separately and cannot be used for pay increases.) Your score is entered on your CCAS Salary Appraisal Form, Part I, Summary of Results. 22 An Employee s Guide to CCAS

25 Depending upon which category you fall into, the pay pool panel has the authority to award three forms of compensation. Contribution Rating Increase (CRI) CRI is a permanent increase in your base pay. Each point of your OCS delta value is worth a percentage increase of your base pay. This pay increase percentage value is equal for all employees in the pay pool. General Pay Increase (GPI) GPI is the pay increase authorized by Congress and the President. If your OCS is in the acceptable range, you will receive the full percentage of the GPI authorized by Congress. Contribution Award (CA) CA is a bonus that does not affect your base pay. The CA fund includes money that will be used for contribution awards (formerly performance awards) under the CCAS process. 23

26 24 An Employee s Guide to CCAS

27 OCS Pay Adjustment/Award 6 COMMUNICATING CCAS RESULTS Supervisor s Annual Appraisal CIP (if required) OCS Pay Adjustment/Award Data on Organization Results 6 Communicating CCAS Results One of the most critical times for feedback occurs at the end of the CCAS cycle (after the pay pool panel process). This is when your supervisor will formally review with you the level of your contribution for the previous appraisal period. Your supervisor will discuss with you his/her supervisory assessment, the appraisal scores that were approved by the pay pool manager, compensation, and opportunities for you to increase your contribution. Your supervisor will document this review in the Annual Appraisal module in CAS2Net. CCAS Salary Appraisal Form, Part I, Summary of Results The basis for this discussion is the Supervisor s Annual Appraisal and the CCAS Salary Appraisal Form, Part I, Summary of Results. You should review this form carefully and ask for clarification from your supervisor as needed. The Part I form gives you important information about your appraisal results, factor scores, Overall Contribution Score (OCS) and compensation. Your supervisor should carefully review each part of the form with you, and you should both sign and date the form. 25

28 Your signature does not indicate that you agree with the appraisal results; it simply documents that you have reviewed the document with your supervisor. A copy of the form is kept by both you and your supervisor. CCAS Salary Appraisal Form, Part I, is made up of the following sections: 1 Identification section containing data such as name, broadband level, occupational series, the dates of the appraisal period, etc. 2 Name of the Pay Pool Manager who approved the final results and the effective date of the appraisal. Part I: CCAS Salary Appraisal Form Name: Joe Contributor Series: 801 Appraisal Period: CAS2Net ID: 31 Broadband Level: III From: 1-Oct-13 1 Organization: AMC/LHBB Retained Pay: No To: 30-Sep-14 Career Path: NH Presumptive: None Approved By: Bob Arnold, Pay Pool Manager Effective Date of Appraisal: January 1, Discuss evaluation w ith employee and obtain signature confirming discussion. Signature of employee does not constitute agreement w ith CCAS appraisal. Date Supervisor Print / Sign Date 3 Employee Print / Sign 2014 Appraisal Detail Factor Category Score Numeric Score Overall Contribution Score 74 Problem Solving 3H 79 Expected Contribution Score 4 67 Teamwork 3M 72 Expected Contribution Range Customer Relations 3M 72 Delta OCS 7 Leadership 3M 69 Communications 3M 70 Resource Management 3H 79 Compensation Detail Employee Compensation Region Chart 5 Approved Compensation Region B $67,958 Current Rate of Base Pay The graph plots the employee s current base pay versus + $ 680 General Pay Increase 1.0% the final OCS relative to the rails and standard pay line + $ 3,532 CRI (Pay Increase) 5.20% (SPL); relating contribution to compensation. The top and bottom lines are the Upper and Low er Rails, respectively. = $72,170 New Rate of Basic Pay The middle line is the SPL. Region A is above the Upper + $10,219 Locality 14.16% Rail. Region B is below the Low er Rail. Region C is on or w ithin the rails. Compensation regions determine the = $82,389 New Total Salary availability of pay increases and awards. The point on $ 1,815 Contribution Award the graph below is the employee's appraisal result. Date 2015 Expected Contribution Level 7 Expected Overall Contribution Score 70 Expected Contribution Range Privacy Act Statement (552a of 5 U.S.C.) 1. AUTHORITY: Section III.D, Federal Register Notice dated January 8, PURPOSE: This form summaries the annual evaluation of an employee s contribution through CCAS assessment. 3. ROUTINE USE: This form is a computer generated form that is produced for each employee and contains the overall contribution score and space for the signature of the PPM, the supervisor, and the employee. The original of this form will be maintained in accordance with agency procedures. 4. DISCLOSURE: Failure to verify the SSN may result in a delayed or erroneous processing of the individual's CCAS and applicable payouts. The information contained within this form is personal in nature and is restricted to those with appropriate permissions. Information collected on this form may be used for statistical and impact analysis. Remarks $140,000 $120,000 $100,000 $80,000 $60,000 $40,000 $20,000 $ Overall Contribution Score 8 26 An Employee s Guide to CCAS

29 3 Signature section for the supervisor and employee. There is an additional line for another official s signature based on Component or organization policy. 4 Current cycle appraisal detail section. To the right are the six individual factor scores, both categorical and numerical, that led to the OCS. To the left is the final approved OCS. The expected score based on your base pay for the past rating cycle, as well as the scores that define the expected range are listed. The difference between the expected OCS and the approved OCS, termed the delta OCS, is included in this section. 5 Compensation detail section containing the employee s current base pay, pay increase from general pay increase (GPI), pay increase from contribution rating increase (CRI), total new base 6 pay, locality pay amount, new total salary, and the lump sum contribution award (CA) amount. 6 7 Employee contribution region chart is the graph on the lower right that plots the employee s OCS against their base pay. This section identifies the approved compensation region. Compensation regions determine the available pay increases and awards. Expected contribution score and range for the next cycle based upon the new base bay. 58 Remarks section that is available for any necessary comments. During the feedback session, employees may be curious about how they stand in relationship to their peers. This information may be delivered in any number of ways, but is best delivered through aggregate data presented by the leaders of the organization. Organizations may also wish to publish data on the average pay adjustment (by category pay increase and awards) or average OCS scores by broadband level. However, organizations must take care not to subject any employee to embarrassment or risk compromising the identity of individual OCS scores or compensation. For that reason, small pay pools may choose to avoid providing aggregate data where individual employees could be identified. 27

30 Increased Contribution and Goal Adjustment During the end-of-cycle feedback session, the supervisor should also discuss opportunities for increased contribution with the employee. This is critical not only for those employees who may not be contributing at a level consistent with their pay, but also for employees who are excellent contributors and are searching for additional responsibility and opportunities to excel. A great place to start is to review the expectations agreed upon by you and your supervisor at the beginning of the new appraisal period. You and your supervisor should ask if the goals and targets that were set will lead to the level of contribution that you desire and is expected of you. It is also a good time to again make sure that your goals align to the mission and goals of the organization. Contribution Improvement Plans For those employees whose contribution level is not meeting expectations, the supervisor may elect or be required to place the employee on a Contribution Improvement Plan, or CIP. A CIP is mandatory when an employee receives any factor score at or below the mid-point of the next lower broadband. If a supervisor puts an employee onto a CIP, he/she must do so formally in writing. The plan must contain specific areas in which the employee is inadequately contributing, and required improvements. This is because employees cannot be expected to improve their contributions if they don t have details. The plan should be as descriptive as possible about what equates to a satisfactory level. The employee should know how his/her contribution is being judged, and what specific actions are required by the employee. The minimum time period for improvement is 60 days; however more time may be given. There may be training or other assistance that could assist the employee in improving his or her contribution. If so, it should be detailed in the CIP. Finally, it must contain the proposed consequences to the employee if the contribution is not increased and sustained at the acceptable level. 28 An Employee s Guide to CCAS

31 7 CAS2Net CAS2Net is the software tool we use to capture CCAS related data necessary in the annual appraisal cycle process. At the end of the pay pool process, once the pay pool managers have approved the OCS, pay adjustments, and awards decisions, CAS2Net data will be uploaded to the Defense Civilian Personnel Data System (DCPDS) to update official employee personnel records. As mention earlier, CAS2Net is the tool you and your supervisor will use to document contribution planning, mid-point reviews, additional feedback, self-assessments and supervisor assessments. Please go to the AcqDemo website to download a copy of the AcqDemo CAS2Net Guide. The guide provides step-by-step instructions for using CAS2Net for both employees and supervisors. You must be on a CAC-enabled computer to access CAS2Net. Access the CAS2Net site by going to the following URL: (Note: The server is hosted at an Army site and entry is the same URL for all Services and Agencies.) 29

32 GLOSSARY BROADBAND LEVEL. A broadband level is a pay range derived from the General Schedule pay rates. CAREER PATH. One of three categories that an employee is placed in which corresponds to the employee s occupational series currently held. CONTRIBUTION AWARD. A lump-sum payment based upon an individual s contribution to the mission of the organization. This award does not affect base pay. CONTRIBUTION-BASED COMPENSATION AND APPRAISAL SYSTEM (CCAS). CCAS is a contribution-based assessment system that links pay adjustments to the individual s overall contribution to the organization s mission. CONTRIBUTION IMPROVEMENT PLAN (CIP). The contribution improvement plan is a document issued by the rating official that outlines specific areas in which the employee is inadequately contributing. This document states how the employee s contribution is inadequate; what improvements are required; recommendations on how to achieve increased contribution; assistance that the agency will offer to the employee in improving inadequate contribution; and the consequence of failure to improve. CONTRIBUTION RATING INCREASE (CRI). A contribution rating increase is a base pay increase based upon an individual s contribution to the mission of the organization. DELTA OCS. Computed as the difference between the expected OCS and the OCS approved for the rating cycle by the pay pool manager. 30 An Employee s Guide to CCAS

33 DESCRIPTORS. Descriptors are narrative statements that describe contributions typical for the broadband levels at increasing levels of contribution, and are the basis for contribution assessment. Descriptors are not used individually to assess contributions but taken as a whole to derive a single evaluation for each factor. DISCRIMINATORS. Various categories in which an employee s contribution is assessed. Discriminators for each factor are the same for all career paths and all broadband levels. EXPECTED OCS. The expected OCS represents an employee s expected level of contribution based upon his/her current base pay. It is derived by plotting base pay in relation to the standard pay line. FACTORS. Factors are the basis for assessing contributions. The same six factors (problem solving, teamwork/cooperation, customer relations, leadership/supervision, communication, resource management) apply to all career paths. FEEDBACK. Feedback is communication between the rating official and employee about the employee s contribution during the appraisal cycle. Feedback should focus on the employee s strengths and weaknesses in areas of contribution to the organization s mission, professional development, and career development activities. GENERAL SCHEDULE PAY INCREASE. The General Schedule pay increase allows for a percentage increase to the General Schedule, as authorized by Congress and the President each year. INADEQUATE CONTRIBUTION. An employee is considered to be inadequately contributing if his/her contribution in any factor is at or less than the midpoint of the next lower broadband level (or a factor score of zero for broadband level I employees). Additionally, when an employee s contribution plots in the area above the upper rail of the normal pay range, the employee is considered to be contributing inadequately. OVERALL CONTRIBUTION SCORE (OCS). The overall contribution score (OCS) is a numerical value which represents the employee s contribution to the mission of the organization. It is computed by averaging the scores of the six factors. 31

34 PAY POOL. A group of employees among whom a certain amount of pay increase and award money is distributed. Each participant in the demonstration project is a member of only one pay pool. PAY POOL PANEL. The pay pool panel, which includes the pay pool manager and rating officials (who normally report directly to the pay pool manager), conducts a final review of the OCSs and the recommended compensation adjustments for the pay pool members. PAY POOL MANAGER. The manager of the pay pool who has annual pay adjustment authority. POSITION REQUIREMENTS DOCUMENT (PRD). The position requirements document for each employee provides job-specific information, broadband level descriptors, and other information pertinent to the job, including staffing requirements and contribution expectations. This document replaces the current agency-developed position description. 32 An Employee s Guide to CCAS

35 Factors CAREER PATH: BUSINESS MANAGEMENT & TECHNICAL MANAGEMENT PROFESSIONAL (NH) FACTOR: PROBLEM SOLVING FACTOR DESCRIPTION: This factor describes/captures personal and organizational problem-solving results. LEVEL DESCRIPTORS (NH) Level I Performs activities on a task; assists supervisor or other appropriate personnel. Resolves routine problems within established guidelines. Independently performs assigned tasks within area of responsibility; refers situations to supervisor or other appropriate personnel when existing guidelines do not apply. Takes initiative in determining and implementing appropriate procedures. Level II Plans and conducts functional technical activities for projects/programs. Identifies, analyzes, and resolves complex/difficult problems. Independently identifies and resolves conventional problems which may require deviations from accepted policies or instructions. Adapts existing plans and techniques to accomplish complex projects/programs. Recommends improvements to the design or operation of systems, equipment, or processes. DISCRIMINATORS - Scope/Impact - Complexity/Difficulty - Independence - Creativity - Scope/Impact - Complexity/Difficulty - Independence - Creativity 33

36 LEVEL DESCRIPTORS (NH) Level III Independently defines, directs, or leads highly challenging projects/programs. Identifies and resolves highly complex problems not susceptible to treatment by accepted methods. Develops, integrates, and implements solutions to diverse, highly complex problems across multiple areas and disciplines. Anticipates problems, develops sound solutions and action plans to ensure program/mission accomplishment. Develops plans and techniques to fit new situations to improve overall program and policies. Establishes precedents in application of problem-solving techniques to enhance existing processes. Level IV Defines, establishes, and directs organizational focus (on challenging and highly complex project/ programs). Identifies and resolves highly complex problems that cross organizational boundaries and promulgates solutions. Resolution of problems requires mastery of the field to develop new hypotheses or fundamental new concepts. Assesses and provides strategic direction for resolution of mission critical problems, policies, and procedures. Works at senior level to define, integrate, and implement strategic direction for vital programs with long-term impact on large numbers of people. Initiates actions to resolve major organizational issues. Promulgates innovative solutions and methodologies. Works with senior management to establish new fundamental concepts and criteria and stimulate the development of new policies, methodologies, and techniques. Converts strategic goals into programs or policies. DISCRIMINATORS - Scope/Impact - Complexity/Difficulty - Independence - Creativity - Scope/Impact - Complexity/Difficulty - Independence - Creativity 34 An Employee s Guide to CCAS

37 CAREER PATH: BUSINESS MANAGEMENT & TECHNICAL MANAGEMENT PROFESSIONAL (NH) FACTOR: TEAMWORK/COOPERATION FACTOR DESCRIPTION: This factor, applicable to all teams, describes/ captures individual and organizational teamwork and cooperation. LEVEL DESCRIPTORS (NH) Level I Works with others to accomplish routine tasks Contributes ideas in own area of expertise. Interacts cooperatively with others. Regularly completes assignments in support of team goals. Level II Works with others to accomplish projects/programs. Uses varied approaches to resolve or collaborate on projects/programs issues. Facilitates cooperative interactions with others. Guides/supports others in executing team assignments. Proactively functions as an integral part of the team. Level III Works with others to accomplish complex projects/ programs. Applies innovative approaches to resolve unusual/ difficult issues significantly impacting important policies or programs. Promotes and maintains environment for cooperation and teamwork. Leads and guides others in formulating and executing team plans. Expertise is sought by peers. Level IV Leads/guides/mentors workforce in dealing with complex problems. Solves broad organizational issues. Implements strategic plans within and across organizational components. Ensures a cooperative teamwork environment. Leads/guides workforce in achieving organizational goals. Participates on high-level teams. Is sought out for consultation. DISCRIMINATORS - Scope of Team Effort - Contribution to Team - Effectiveness - Scope of Team Effort - Contribution to Team - Effectiveness - Scope of Team Effort - Contribution to Team - Effectiveness - Scope of Team Effort - Contribution to Team - Effectiveness 35

38 CAREER PATH: BUSINESS MANAGEMENT & TECHNICAL MANAGEMENT PROFESSIONAL (NH) FACTOR: CUSTOMER RELATIONS FACTOR DESCRIPTION: This factor describes/captures the effectiveness of personal and organizational interactions with customers (anyone to whom services or products are provided), both internal (within an assigned organization) and external (outside an assigned organization). LEVEL DESCRIPTORS (NH) Level I Independently carries out routine customer requests. Participates as a team member to meet customer needs. Interacts with customers on routine issues with appropriate guidance. DISCRIMINATORS - Breadth of Influence - Customer Needs - Customer Interaction Level II Guides the technical/functional efforts of individuals or team members as they interact with customers. Initiates meetings and interactions with customers to understand customer needs/expectations. Interacts independently with customers to communicate. Level III Guides and integrates functional efforts of individuals or teams in support of customer interaction. Seeks innovative approaches to satisfy customers. Establishes customer alliances, anticipates and fulfills customer needs, and translates customer needs to programs/projects. Interacts independently and proactively with customers to identify and define complex/difficult problems and to develop and implement strategies or techniques for resolving program/project problems (e.g., determining priorities and resolving conflict among customers requirements). Level IV Leads and manages the organizational interactions with customers from a strategic standpoint. Works to assess and promulgate political, fiscal, and other factors affecting customer and program/project needs. Works with customer at management levels to resolve problems affecting programs/projects(e.g., problems that involve determining priorities and resolving conflicts among customers requirements). Works at senior level to stimulate customer alliances for program/project support. Stimulates, organizes, and leads overall customer interactions. - Breadth of Influence - Customer Needs - Customer Interaction Level - Breadth of Influence - Customer Needs - Customer Interaction Level - Breadth of Influence - Customer Needs - Customer Interaction Level 36 An Employee s Guide to CCAS